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HUMANA INC — Director's Dealing 2007
Nov 28, 2007
30145_dirs_2007-11-28_42756d25-730d-4c1f-b499-3220a118bd5c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2007-11-27
Reporting Person: LORD JONATHAN T MD (Sr VP & Chief Innovation Off.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-11-27 | Humana Common | M | 50000 | $32.70 | Acquired | 98326 | Direct |
| 2007-11-27 | Humana Common | S | 100 | $74.48 | Disposed | 98226 | Direct |
| 2007-11-27 | Humana Common | S | 3200 | $74.49 | Disposed | 95026 | Direct |
| 2007-11-27 | Humana Common | S | 400 | $74.50 | Disposed | 94626 | Direct |
| 2007-11-27 | Humana Common | S | 100 | $74.51 | Disposed | 94526 | Direct |
| 2007-11-27 | Humana Common | S | 4100 | $74.52 | Disposed | 90426 | Direct |
| 2007-11-27 | Humana Common | S | 7400 | $74.53 | Disposed | 83026 | Direct |
| 2007-11-27 | Humana Common | S | 1100 | $74.54 | Disposed | 81926 | Direct |
| 2007-11-27 | Humana Common | S | 3000 | $74.55 | Disposed | 78926 | Direct |
| 2007-11-27 | Humana Common | S | 6600 | $74.56 | Disposed | 72326 | Direct |
| 2007-11-27 | Humana Common | S | 1600 | $74.57 | Disposed | 70726 | Direct |
| 2007-11-27 | Humana Common | S | 500 | $74.58 | Disposed | 70226 | Direct |
| 2007-11-27 | Humana Common | S | 13600 | $74.60 | Disposed | 56626 | Direct |
| 2007-11-27 | Humana Common | S | 600 | $74.61 | Disposed | 56026 | Direct |
| 2007-11-27 | Humana Common | S | 1300 | $74.62 | Disposed | 54726 | Direct |
| 2007-11-27 | Humana Common | S | 100 | $74.63 | Disposed | 54626 | Direct |
| 2007-11-27 | Humana Common | S | 1900 | $74.65 | Disposed | 52726 | Direct |
| 2007-11-27 | Humana Common | S | 600 | $74.66 | Disposed | 52126 | Direct |
| 2007-11-27 | Humana Common | S | 700 | $74.67 | Disposed | 51426 | Direct |
| 2007-11-27 | Humana Common | S | 1800 | $74.68 | Disposed | 49626 | Direct |
| 2007-11-27 | Humana Common | S | 500 | $74.69 | Disposed | 49126 | Direct |
| 2007-11-27 | Humana Common | S | 800 | $74.70 | Disposed | 48326 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-11-27 | Options | $32.70 | M | 50000 | Disposed | 2012-02-24 | Humana Common (50000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $53.96 | 2013-02-23 | Humana Common (47655) | 47655 | Direct |
| Options | $62.10 | 2014-02-22 | Humana Common (38062) | 38062 | Direct |
Footnotes
F1: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F2: Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, NQ options vesting in three increments from 2/24/06 to 2/24/08, and ISO's vesting on 2/24/08.
F3: Incentive and Non-Qualified stock options granted to reporting person on 2/23/06, NQ options vesting in three increments from 2/23/07 to 2/23/09, and ISO's vesting on 2/23/09.
F4: Incentive and Non-Qualified stock options granted to reporting person on 2/22/07, NQ options vesting in three increments from 2/22/08 to 2/22/10, and ISO's vesting on 2/22/10.